Lead Opinion
Linda E. Dausch, a member of the congregation of the Knox Presbyterian Church (“Knox Church”), sought counseling from her church’s pastor, Reverend Greg Rykse. She alleged in her complaint that it was one of the duties of Rykse and of the Knox Church and the Chicago Presbytery (“the church defendants”) to provide psychological counseling to members of the congregation. However, according to Mrs. Dausch’s complaint, Rykse “engaged in dangerous and improper counseling relations with plaintiff,” which included “engaging in sexual contact during the course of psychotherapy with the plaintiff, an emotionally dependent patient.”
The ease before us, brought under diversity jurisdiction
1.
Because our review of this ease is limited to the sufficiency of Mrs. Dausch’s complaint, we must accept all well-pled facts as true and must draw all reasonable inferences in favor of the appellant Mrs. Dausch. Dowlatshahi v. Motorola, Inc.,
Applying this standard, the complaint presented these facts:
2.
On February 9, 1993, the district court granted the defendants’ motion to dismiss the complaint for failure to state a claim upon which relief can be granted. See Fed. R.Civ.P. 12(b)(6). Mem.Op. at 17.
The court turned first to Mrs. Dausch’s allegations of professional negligence against the church defendants. In the court’s view, these allegations were most accurately characterized as a claim for clergy malpractice. The court held that such a cause of action was not recognized in Illinois and therefore could not be the basis for holding the church defendants vicariously liable. It also determined, in the alternative, that, even if such a cause of action existed, the church defendants could not be held vicariously liable for actions done by Rykse solely for his own benefit and not as part of his ministerial duties. Nor, according to the district court, could the church defendants be held liable for failing to exercise reasonable care over Rykse when acting outside the scope of his employment because there was no allegation that the church defendants knew or should have known of Rykse’s improper relations or of the need to exercise control over him. Under such circumstances, the fact that Rykse was the church defendants’ employee was not a sufficient basis for vicarious liability.
The district court next addressed the professional negligence allegation against Rykse. The court reiterated that Illinois does not recognize a cause of action for clergy malpractice. It noted that courts that have considered but rejected such a claim have recognized the free exercise implications of any such recognition. The district court also recognized, however, that such free exercise considerations would not be relevant if Rykse’s conduct was not part of the belief and practices of his church. Repeating its earlier view with respect to the church defendants, the district court concluded that Mrs. Dausch had failed to allege adequately that Rykse’s psychological counseling was not part of the church’s religious beliefs and practices. As a result, concluded the court, the free exercise clause of the First Amendment was’implicated and Mrs. Dausch failed to state a valid claim.
The district court next turned to the allegations that the defendants had breached a fiduciary duty to Mrs. Dausch. At the outset, the district court concluded that, even though the church defendants might be characterized as her “spiritual and religious ad-visors,” Mem.Op. at 14, that relationship was not, under the law of Illinois, that of a fiduciary. With respect to Rykse, the court concluded that he did not have a fiduciary duty,
The district court dismissed, on the same rationale, Mrs. Dausch’s allegations of negligent infliction of emotional distress. Because Illinois does not recognize clergy malpractice claims, it would also not recognize claims for negligent infliction of emotional distress in these circumstances. Finally, the court dismissed Mrs. Dausch’s counts concerning the church defendants’ negligent hiring, training, and supervision of Rykse because adjudication of such claims would foster excessive state entanglement with religion.
For the reasons that follow, we affirm the district court’s dismissal of counts against the church defendants, Counts II, VI, and VIII. Concerning the counts against Rykse, we affirm the district court’s dismissal of Count III, breach of fiduciary duty. We also affirm the .dismissal of Count V, alleging negligent infliction of emotional distress against Rykse; because there was no assignment of error, this count is not properly before the court. We reverse the dismissal of the remaining counts, Counts I and IX, and remand for further proceedings consistent with this opinion.
AFFIRMED IN PART AND REVERSED AND REMANDED in Part
Notes
. The initial jurisdictional statement indicated that the requirement of complete diversity of citizenship may be lacking. Strawbridge v. Curtiss,
. Mrs. Dausch’s first amended complaint, filed August 6, 1992, is misnumbered and therefore does not include Counts IV or VII. All references to the "complaint” before this court are to this first amended version found at R.33.
. In her memorandum in response to the motions to dismiss, Mrs. Dausch explained further the basis for the complaint. The district court referred to this document extensively in its memorandum order. As we have noted in the text, in determining whether a complaint ought to be dismissed, the district court considers the allegations that are contained in it and all reasonable inferences drawn from it in favor of the nonmov-ant. The facts asserted in the memorandum in opposition to the motion to dismiss, but not contained in the complaint, are relevant to the extent that they “could be proved consistent with the allegations.” Hishon v. King & Spalding,
According to the memorandum, a coordinator at Knox Presbyterian Church called Mrs. Dausch to inquire why she was not attending church, and recommended that she seek counseling from Rev. Greg Rykse, one of the pastors at the church. According to the complaint, Rykse contacted her soon thereafter and offered his services as a psychological counselor. Dausch stated that Rykse told her that she needed secular psychological, not religious, counseling, and that he was qualified to provide it. According to Dausch, Rykse stated that such treatment was included in his job description at Knox Presbyterian Church. Dausch attended counseling sessions with Rykse at his office in the church from January 1988 until May 1990. Over time Rykse increased the frequency and length of the ses
Concurrence Opinion
concurring.
I agree with Section A.l. (Professional Negligence and Negligent Infliction of Emotional Harm — Defendant Ryske) subsections a. and b. and Section B. (Sexual Exploitation in Psychotherapy Act) of Judge Ripple’s opinion, but wish to make it clear that this is in no way to be interpreted as expanding the liability of the clergy and thus spiritual counseling, or some combination of spiritual and secular counseling, remains shielded by the First Amendment. Thus Dauseh’s claims for professional negligence (Count I) and violation of the Illinois psychotherapy statute (Count IX) are the only claims against Rev. Ryske that survive on remand. This position is also consistent with Section C. (Breach of Fiduciary Duty) of Judge Ripple’s concurrence which affirms the dismissal of Dausch’s breach of fiduciary duty claim against Rev. Ryske (Count III), but it is at odds with Section A.l. (Professional Negligence and Negligent Infliction of Emotional Harm — Defendant Ryske) subsection c. of Judge Ripple’s analysis as it unfortunately combines the reversal of the trial judge’s dismissal of Dausch’s professional negligence claim with the reversal of the trial judge’s dismissal of her claim for negligent infliction of emotional distress (Count V). I also wish to point out that Dausch’s brief on appeal fails to assign error to the court’s dismissal of that claim, thus it is not before the court. Further, Dausch’s complaint in my opinion fails to allege facts sufficient to state a cause of action against the church defendants sounding in professional negligence (Count II), breach of fiduciary duty (Count VI), and negligent infliction of emotional distress (Count VIII). I agree with the trial court’s action and Section C. (Breach of Fiduciary Duty) of Judge Ripple’s analysis, affirming the dismissal of Dausch’s breach of fiduciary duty claim. However, I disagree with Section A.2 (Professional Negligence and Negligent Infliction of Emotional Harm — Church defendants) of Judge Ripple’s analysis for Dausch’s complaint fails to adequately allege that the church defendants knew or should have known of the improper counselling conduct of Rev. Ryske. I further note that Dausch’s complaint fails to allege any basis for a claim under the doctrine of respondeat superior because her complaint fails to state that the church defendants ever hired or authorized Rev. Ryske to engage in secular psychological counselling. Rev. Ryske’s sexual contact with Dausch was obviously a deviation from the terms of the contract of his employment with the church and was certainly not in furtherance of the church defendants’ business. Finally, Dausch’s complaint fails to allege that the church defendants incurred any supervisory liability for it is devoid of any allegation that the church defendants were aware or had any knowledge that Rev. Ryske made improper sexual ad-
Concurrence Opinion
concurring in part and dissenting in part in the judgment.
This ease was dismissed by the district court because, in its view, the complaint failed to state a claim upon which relief could be granted. This procedural posture is central to the adjudication of this present appeal. Accordingly, I set forth, at the beginning of the analysis, a discussion of the settled principles of law that must guide the inquiry when a ease is presented in this procedural posture.
Review of the district court’s grant of a motion to dismiss the amended complaint is de novo. Vicom, Inc. v. Harbridge Merchant Servs., Inc.,
Rule 8(a)(2) requires a “short and plain statement of the claim showing that the pleader is entitled to relief.” In addition, Rule 8(e)(1) states that “[ejach averment of a pleading be simple, concise and direct.” The primary purpose of these provisions is rooted in fair notice: Under Rule 8, a complaint “ ‘must be presented with intelligibility sufficient for a court or opposing party to understand whether a valid claim is alleged and if so what it is.’ ”
Vicom,
A. Professional Negligence and Negligent Infliction of Emotional Harm
1. Defendant Rykse
a.
Central to the district court’s disposition of this case was its determination that, with respect to the individual defendant Rykse, the complaint alleged a claim for clergy malpractice rather than a claim for professional negligence on the part of a psychological counselor.
The first count of the complaint alleges that Rykse had a “duty to possess and apply the skill and knowledge of a reasonably well qualified person providing psychological counseling,” and that he was professionally negligent in counseling plaintiff.
On appeal, Mrs. Dausch maintains that her claims are based on psychotherapy malpractice, which is recognized in Illinois, see Corgan v. Muehling,
In reply, Rykse argues that it is undisputed that at least part of Rykse’s interaction with Mrs. Dausch consisted of religious counseling. Because the foundation of their relationship was as member and pastor of the church, the district court properly determined, in Rykse’s view, that Mrs. Dausch “failed to adequately allege that Rykse’s counseling was purely secular.” Mem.Op. at 12. Rykse submits that Mrs. Dausch sought pastoral counseling for depression from Rykse, her pastor, rather than through the services of a psychotherapist, presumably because she expected counseling that would be spiritual in nature. Like the plaintiff in Schmidt v. Bishop,
b.
I begin my analysis of this issue by noting my complete agreement with our colleague in the district court with respect to the viability of a claim for clergy malpractice. This cause of action has been soundly rejected by the courts of Illinois. In Baumgartner v. First Church of Christ, Scientist,
Indeed, a cause of action for clergy malpractice has been rejected uniformly by the states that have considered it.
This judicial refusal to examine the pastoral activity of members of the clergy, when such a judicial inquiry would require examination and evaluation of the clergy’s adherence to the tenets of his or her faith or of internal decisions and organization of the church, has not been extended to situations in which the conduct in question does not bear such a direct relationship to the doctrinal or organizational aspects of religious practice. Cf. Wisconsin v. Yoder,
Characterizing psychological counseling services in terms of this distinction between pastoral work, which can be assessed only by reference to theological beliefs, and the provision of secular services, which can be assessed independently of such religious considerations, presents a particularly difficult issue. In most, if not all, religious traditions, pastoral counseling — advice on matters of spiritual growth or moral responsibility — requires a great deal of knowledge and skill with respect to human psychology. Yet, as Illinois and, indeed, every state that has confronted the issue have noted, such pastoral counseling is clearly and directly centered on matters of religion, and claims of negligence are not cognizable in the civil courts. Indeed, an intermediate appellate court in Illinois has rejected the argument that
the duties of a priest to his parishioner or of a minister to his congregation should be equated with the duties of a psychologist to his patient. A priest or minister is not required to possess and apply the knowledge and use the skill and care ordinarily used by a reasonably well-qualified psychologist.
Hertel v. Sullivan,
If the complaint can be appropriately characterized as stating a claim for professional malpractice as opposed to clergy malpractice, “professionals” may be held to “an elevated and objective standard of care.” Eaves v. Hyster Co.,
In Cargan v. Muehling,
c.
Upon examining the complaint in the case before us, I conclude that some of Mrs. Dausch’s allegations must be permitted to survive a motion for judgment on the pleading. The complaint sufficiently alleges a cause of action against Rykse as a counselor, not pastor, in Counts I (professional negligence) and V (negligent infliction of emotional distress).
The district court was of the view that the complaint did not adequately allege that the undertaking of Rykse was a purely secular one. As noted earlier, the district court placed great weight on the failure of Mrs. Dausch to allege that the counseling was not part of Rykse’s employment with the church, that the sessions were not conducted off the premises of the church, and that Rykse did not receive training as a psychological counselor from a source other than the church. I agree with our colleague in the district court that these factors are indeed relevant to a determination of the nature of the counseling. I cannot accept, however, the proposition that the omission of these assertions from the complaint is fatal to the plaintiffs case. Indeed, the district court appears to have been of the view that, unless all of these factors were resolved in favor of the plaintiff, it would be necessary to characterize this action as one for clergy malpractice. Such a requirement is not realistic. A cleric does not immunize his or her actions simply because they are performed on the grounds of the church. A legal clinic on church grounds would, for instance, clearly be subject to state regulation. The source of the clergy’s training is also not outcome-determinative. A church certainly can decide to maintain a fully accredited educational institution for the education of its clergy in secular pursuits.
Given the standards that govern the adequacy of a complaint, I believe it was sufficient for Mrs. Dausch to allege that Rykse held himself out as a trained psychological counselor and that he undertook, as a function apart from pastoral counseling, to provide such a professional service that did not implicate in its rendition the beliefs or practices of the Presbyterian faith. Mrs. Dausch wants the court to examine her allegation that Rykse held himself out as a trained and qualified psychological counselor and then used that representation to have sexual relations with her. Neither Illinois law nor the Free Exercise Clause relieves an individual of the obligation to comply with neutral laws of general applicability, Employment Div., Dep’t of Human Resources v. Smith,
2. Church defendants
The district court dismissed the professional negligence claim against the churches primarily on the basis that neither the courts nor the legislature had recognized a cause of action for clergy malpractice.
The district court next held that the church defendants were not obligated to exercise reasonable care over Rykse when he was acting outside the scope of his employment. In this regard, the district court followed the general rules of master-servant tort liability found in the Restatement (Second) of Torts at § 317. It held that the complaint lacked the allegation that, the church defendants knew or should have known that it should exercise control over Rykse. More precisely, continued the district court, the.complaint failed to allege that: (1) the church defendants knew or should have known of the necessity and opportunity to exercise control over Rykse; (2) there were any indications that Mrs. Dauseh and Rykse were having sexual relations during the counseling sessions; and (3) Rykse was encouraging improper relations with her or other parishioners. The district court determined that, at best, the complaint alleged that vicarious liability was established because Rykse was the church defendants’ employee and such an allegation was not sufficient. Mem.Op. at 11.
I respectfully disagree with the conclusion of the district court that the complaint fails to allege adequately that the church defendants knew or should have known of the allegedly improper counseling conduct of Rykse. In paragraph 18 of the complaint, Mrs. Dauseh alleged that “[d]uring and prior to the period between January, 1988 and June 1990, the [church defendants] knew or should have known that Rev. GREG RYKSE was compelling, encouraging, fostering and engaging in dangerous and improper counseling relations with Plaintiff.” (emphasis added). Again, in paragraph 46, there are allegations that the defendant churches knew or should have known of the improper acts allegedly committed by Rykse during the counseling sessions. These allegations are sufficient to state that, with respect to the claimed secular activities of Rykse, the church defendants were negligent in permitting Rykse to engage in such activities. It is, of course, well established that a civil court cannot inquire into “matters of discipline, faith, internal organization, or ecclesiastical rule, custom, or law,” without offending the Free Exercise Clause of the First Amendment. Serbian E. Orthodox Diocese,
The relationship between an organized church and its ministers is its lifeblood. The minister is the chief instrument by which the church seeks to fulfill its purpose. Matters touching this relationship must necessarily be recognized as of prime ecclesiastical concern.
Indeed, this case, as it comes to us on the pleading,
B. Sexual Exploitation in Psychotherapy Act
The same considerations that require the reinstatement of the counts alleging professional negligence and the negligent infliction of emotional harm require the reinstatement of Count IX alleging a violation of the Sexual
C. Breach of Fiduciary Duty
I turn now to Mrs. Dausch’s allegations that Rykse and the defendant churches breached a fiduciary obligation to her. At the outset, I note that, by contrast to the other counts of the complaint that I have already reviewed, these counts allege that the breach of fiduciary duty occurred in the context of a pastor-parishioner relationship. Mrs. Dausch claimed a special relationship existed between herself, as a member of the congregation of Knox church seeking counseling, and Rykse as its pastor and counsel- or; it also existed between herself and the church defendants, who were guiding and controlling Rykse.
The district court rejected plaintiffs claim that the defendants breached a fiduciary duty to her. Under Illinois law, for a fiduciary duty to exist, there must be “a special confidence reposed in one who, by reason of such confidence, must act in good faith and with due regard to the interests of the person reposing such confidence.” Estate of Osborn,
I believe that the decision of the district court is correct. At the outset, I note that Mrs. Dausch cited no Illinois authority establishing that Illinois recognizes such a fiduciary duty. As we have said on other occasions, federal courts sitting in diversity ought to be circumspect in expanding the law of a state beyond the boundaries established in the jurisprudence of the state. See Affiliated FM Ins. Co. v. Trane Co.,
I believe that the counts of the complaint, with the exception of those that allege a breach of fiduciary duty, state a cause of action and must be reinstated by the district court. As I did at the beginning of the analysis, however, I stress that this case comes to us on the pleading. My assessment of the case must be circumscribed by that procedural posture. I intimate no opinion with respect to the merits of the case.
. Although the district court first addressed the claims against the church defendants, its disposition of those claims anticipated its decision that the claims against the individual defendant were claims for clergy malpractice and not for professionally negligent psychological counseling.
. Dausch's specific allegations of Rykse's professional negligence include the following: (1) he failed to establish and maintain an appropriate counseling milieu; (2) he engaged in improper relations with plaintiff under the auspices of the counselor-counselee relationship; (3) he failed to refer her to a separate counselor when he knew or should have known that his emotional involvement with plaintiff jeopardized and harmed her well-being; (4) he failed to seek the supervision of his superiors when he knew or should have known that his emotional involvement with plaintiff jeopardized and harmed her well-being; (5) he failed to terminate the counseling relationship with plaintiff when he knew or should have known that his emotional involvement with her jeopardized and harmed her well-being; (6) he
. The district court in this case follows closely the analysis and decision in Schmidt, a New York case applying New York law. Schmidt analyzed a long-term relationship between a girl and a Presbyterian pastor, beginning when her parents brought the girl, at age twelve, to the minister for "emotional, spiritual and familial counseling.” Schmidt,
It may be argued that it requires no excessive entanglement with religion to decide that reasonably prudent clergy of any sect do not molest children. The difficulty is that this Court, and the New York courts whose authority we exercise here, must consider not only this case, but the next case to follow, and the ones after that, before we embrace the newly
Schmidt,
. The following state supreme courts have held that there is no cause of action for clergy malpractice: Handley v. Richards,
. The Illinois appellate court explained transference thus:
The “transference phenomenon” ... has been defined in psychiatric practice as "a phenomenon * * * by which the patient transfers feelings towards everyone else to the doctor, who then must react with a proper response, the counter transference, in order to avoid emotional involvement and assist the patient in overcoming problems." The mishandling of this phenomenon, which generally results in sexual relations or involvement between the psychiatrist or therapist and the patient, has uniformly been considered as malpractice or gross negligence in other jurisdictions, whether the sexual relations were prescribed by the doctor as part of the therapy, or occurred outside the scope of treatment.
Horak,85 Ill.Dec. at 604 ,474 N.E.2d at 18 (citations omitted); see also Simmons v. United States,805 F.2d 1363 , 1364-66 (9th Cir.1986).
. Even though in her appellate brief the plaintiff focuses on the professional malpractice claim when arguing that Ryske’s actions ought not be characterized as clergy malpractice, it is clear that the same arguments apply to the negligent infliction of emotional distress claim. The district court treated the latter claim in this manner and, under these circumstances, it would exalt form over substance to expect the plaintiff to repeat the same argument twice here. While a reviewing court should not reach arguments that are not made in the appellate brief, it ought to use a rule of reason and not of hypertechnicality in applying the rule to the litigants before it.
. Mrs. Dausch alleged that the church defendants were professionally negligent because they: (1) failed to establish and maintain an appropriate counseling milieu; (2) engaged in improper relations with plaintiff under the auspices of the counselor-counselee relationship; (3) failed to refer plaintiff to a separate counselor when they knew or should have known that Rykse’s emotional involvement with plaintiff jeopardized her well-being; (4) failed to terminate the counseling relationship with plaintiff when they knew or should have known that Rykse’s emotional involvement with plaintiff jeopardized and harmed plaintiff's well-being; (5) failed to diagnose or properly control plaintiff's symptoms of transference; (6) failed to act in a manner appropriate within the ambit of pastoral obligations; (7) failed to adequately supervise its counseling personnel; (8) failed to employ personnel with the skill, knowledge, and expertise which would have been exercised by a reasonably well-qualified person providing counseling to members of a congregation; (9) failed to adequately train its personnel who engage in counseling; (10) failed to adequately monitor counseling techniques and counseling results of its personnel; and (11) failed to clearly and adequately communicate policies regarding emotional involvement between counselors and counselees to counselors, employees or agents. Complaint ¶25, at 9-10. Identical allegations were made in that count of the complaint that alleged that the church defendants had engaged in the negligent infliction of emotional harm.
. See also Hutchison v. Thomas,
. It is important to remember that this claim is not here on summary judgment. We must adjudicate the matter before us in the procedural posture in which it is presented and express no view on the appropriate disposition at some other stage of the litigation. As Chief Judge Posner has written in a similar context:
This suit may in the end fail, but we think the district judge jumped the gun in dismissing it on the pleadings. The federal rules do not require a plaintiff to allege sufficient facts to establish his right to a judgment. All it requires, with certain exceptions enumerated in Rule 9, none of which is applicable to this case, is a "short and plain" — which is to say, nonlegalistic, nonjargonistic — statement of what his claim is.
Trevino v. Union Pac. R.R.,
My brothers justify their votes to affirm the district court’s dismissal of the counts against the church defendants on the ground that the pleadings do not allege with sufficient specificity that the church had permitted the individual defendant to engage in a secular pursuit under their aegis. My colleagues avoid mention of the fact that the allegations of the complaint with respect to the church defendants are no more vague than the allegations against the individual defendant that they permit to stand. Indeed, the district court did not determine that the complaint suffered from such an infirmity and, if the usual rules that govern our modern notice pleading are applied, such a result would not be permissible.
My colleagues’ position can survive only if there are special rules of pleading for cases that involve ecclesiastical entities. In my view, such a rule cannot be justified on several grounds. First, although the Federal Rules of Civil Procedure do make exceptions to the usual pleading rules in the case of fraud, they make no such exceptions for cases dealing with church-related matters. As the Supreme Court's recent decision in Leatherman v. Tarrant County Narcotics Intelligence & Coordination Unit, — U.S. -,
. Although the statute does not encompass religious counseling in “psychotherapy,” the definition of "psychotherapist” in the statute is very broad:
"Psychotherapist” means a physician, psychologist, nurse, chemical dependency counselor, social worker, or other person, whether or not licensed by the State, who performs or purports to perform psychotherapy.
740 ILCS 140/l(d).
. This statute applies only to "causes of action arising on, or after, its Jan. 1, 1989, effective date.” See Corgan,
